Assistant General Counsel, Regulatory
Join a leading fintech company that’s democratizing finance for all.
Robinhood Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood and its subsidiaries and affiliates are lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.
With growth as the top priority...
The business is seeking curious, growth-minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you’re invigorated by our mission, values, and drive to change the world — we’d love to have you apply.
Robinhood is looking for an Assistant General Counsel to join our growing Regulatory legal team. We are looking for an attorney with experience in retail broker-dealer regulation who is excited to work at the intersection of regulation, technology, and finance. We are looking for a highly adaptable and collaborative person who can handle ambiguity and rapidly shifting priorities with flexibility and perseverance. This is an exciting opportunity to join a growing company and support our mission to democratize finance for all.
The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.
What you’ll do
- Navigate complex regulatory frameworks to help the business design innovative financial products and services
- Identify and draft necessary changes to the firm's systems and procedures to meet the requirements of new rules/regulations
- Engage with regulators, including the SEC and FINRA, and other external parties
- Draft agreements, policies and procedures, disclosures, account documentation and website materials
- Review marketing materials, advertisements, and other communications with the public
- Resolve customer account issues related to estates, bankruptcies, powers of attorney, and related matters.
- Monitor SEC/FINRA and SRO rule developments and making resulting recommendations
- Research securities and brokerage questions and providing legal analysis and recommendations
- Partner cross-functionally with teams including litigation, compliance, product and government affairs
What you bring
- J.D. degree (or foreign equivalent) and membership in at least 1 U.S. state bar
- 10+ years of legal practice experience specializing in advising retail broker-dealers
- Knowledge or expertise in the rules and regulations relevant to broker-dealers, including for example: sales practice rules, Reg BI, Form CRS, licensing and registration, communications with the public, and books and records
- Experience supporting different types of brokerage accounts, including for example, IRAs, trusts, and custodial accounts.
- Track record of developing practical solutions to novel problems
- Exceptional project management and communication skills
- In-house legal experience
- Experience at a federal or state financial regulatory agency
- Experience with finance, technology or start-up organizations
- Ability to provide practical, strategic and business-oriented legal advice
- Ability to effectively manage multiple time sensitive tasks and react to ever-shifting priorities
- Experience drafting comment letters, working with industry trade groups, and engaging in rulemaking and legislative advocacy efforts
- Experience working with privacy, advisory, and cryptocurrency is a plus
What we offer
- Market competitive and pay equity-focused compensation structure
- 100% paid health insurance for employees with 90% coverage for dependents
- Annual lifestyle wallet for personal wellness, learning and development, and more!
- Lifetime maximum benefit for family forming and fertility benefits
- Dedicated mental health support for employees and eligible dependents
- Generous time away including company holidays, paid time off, sick time, parental leave, and more!
- Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits
We use Covey as part of our hiring and / or promotional process for jobs in NYC and certain features may qualify it as an AEDT. As part of the evaluation process we provide Covey with job requirements and candidate submitted applications. We began using Covey Scout for Inbound on September 19, 2024.
Please see the independent bias audit report covering our use of Covey here.
Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood’s equity plan. For other locations not listed, compensation can be discussed with your recruiter during the interview process.
Click here to learn more about available Benefits, which vary by region and Robinhood entity.
We’re looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you’re ready to give 100% in helping us achieve our mission—we’d love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes.
Robinhood embraces a diversity of backgrounds and experiences and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.
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By
Robinhood
Robinhood is a leading financial services company headquartered in Menlo Park, California. The company was founded in 2013 and currently has 23.9 million funded customers, 13.7 million monthly active users, and $130 billion in assets under custody.
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